1. Compliance
  2. Lists and registers

Lists and registers

 

FMA lists and registers can be viewed by clicking on the links below.

Authorised financial advisers (AFAs)

Download the list of AFAs - current as at 30 November 2016.

The FMA publishes this information for public use. The information is provided to us from external sources and the FMA does not guarantee the accuracy of the information. The obligation for updating AFA details on the Financial Service Providers Register (FSPR) is the responsibility of the AFA, not the FMA.

To find the most up-to-date details on AFAs please visit the FSPR website and using the advanced search option complete as follows:

  • To search AFAs by name or FSP number type their name or FSP number in the 'search for FSP' field.
  • To search AFAs by location, under the 'financial services' drop-down box, select 'Financial adviser' then type your area in the 'address keywords' field.

AML/CFT reporting entities 

The list of AML/CFT reporting entities supervised by the FMA.

The Disclose Register

The Disclose Register is a online register managed by the Companies Office, for offers of financial products and managed investment schemes. Material information about regulated offers not included in a PDS needs to be uploaded to the Disclose Register.

 

KiwiSaver exempt employers

The current list of KiwiSaver exempt employers.

KiwiSaver schemes 

All KiwiSaver schemes are now registered on the Disclose Register.  You can also find a list of KiwiSaver providers on the Inland Revenue website.

Licensed crowdfunding platforms

Businesses holding a licence to provide crowdfunding services. 

Licensed derivatives issuers

Businesses holding a licence to provide derivatives issuer services.

Licensed discretionary investment manager services (DIMS)

Businesses holding a licence to provide an discretionary investment manager service.

Licensed independent trustees

Businesses holding a licence to provide an independent trustee service.

Licensed market operators

Businesses holding a licence to operate financial product markets.

Licensed managed investment scheme managers (MIS)

Businesses holding a licence to provide a managed investment scheme.

Licensed peer-to-peer lending services

Businesses holding a licence to provide peer-to-peer lending services.

Licensed supervisors

Businesses holding a licence to provide supervisor services.

Qualifying financial entities (QFE)

Businesses with QFE status.